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Global Transaction Reporting Specialist

2 months ago

London, Greater London, United Kingdom Vanguard Full time

Job Summary:

Vanguard is seeking a highly skilled Global Transaction Reporting Specialist to join our team. As a key member of our regulatory reporting team, you will be responsible for delivering high-quality reporting services to regulators, clients, and third parties.

Key Responsibilities:

  • Monitor and understand the Firm's ongoing regulatory reporting obligations
  • Ensure effective delivery of daily, monthly, quarterly, and ad-hoc regulatory reporting
  • Ensure remediation and resubmission of transactions within Regulatory deadlines or agreed timeframes
  • Build and manage effective relationships with all internal stakeholders and partners
  • Work closely with internal and external data owners to ensure high-quality source data and SLAs are adhered to
  • Continually challenge processes and implement robust testing and reconciliation protocols
  • Perform regular risk and control assessments and record a robust control environment
  • Ensure maintenance and appropriate evolution of detailed procedures and operating model documentation
  • Work closely with Compliance to identify, track, assess, and respond appropriately to regulatory reporting developments
  • Ensure that business changes are reviewed for impact on regulatory reporting, so that planned changes are implemented safely and effectively
  • Investigate the potential impact to the transaction reporting process and requirements of new instruments and product offerings
  • Attend key industry and supplier events to obtain relevant market intelligence for the Firm on both regulatory change and possible solutions
  • Maintain a high level of knowledge relating to applicable regulations, consultations, guidance, and industry best practice

Personal Regulatory Responsibilities:

  • Adhere to the FCA's, CBI's, and other Regulatory Conduct Rules, understanding that they set basic standards of good personal conduct

Accountabilities:

  • Successful delivery of reporting services to regulators, clients, third parties as required
  • Full transparency and escalation of E&Os, providing detailed information, remediation, and preventative assurances
  • Demonstrating that a robust control environment exists and is adhered to
  • Demonstrating that regulatory rules are understood and followed as they are intended
  • Ongoing measurable talent development for direct reports
  • Maintenance and strengthening of personal and Team regulatory knowledge
  • Demonstrate adaptability around key Firm-wide decisions and directives

Requirements:

  • Excellent detailed knowledge of MIFID, EMIR Refit, UKMIR, and Refit mandatory AIFMD, Shareholding Disclosures, and SFTR experience desirable
  • Experience in all instrument classes across a wide range of markets
  • Proven ability to analyze current and future regulatory requirements and translate them into practical implications for the Firm
  • Experience in using the following tools and platforms: DTCC; RHUB, and Kaizen
  • Experience of operating in an environment where multiple trading platforms/OMS/mechanisms are used, preferably including Bloomberg, CRD, Aladdin

Candidate Profile:

  • Meticulous eye for detail
  • Deadline and process-driven
  • Strong English language written and oral communication
  • Confident communicating and leading discussions at all levels
  • Good problem-solving skills
  • Comfortable using spreadsheets and interrogating large sets of complex data
  • Approachable and friendly manner
  • Highly motivated and driven to succeed
  • A flexible approach to workload and business change